Broker-Dealer

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New Broker-Dealer Notice-Filing Obligations in Private Placements

By David Jenson on 06/13/2012

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Comments Begin on JOBS Act

By Jill Radloff on 05/08/2012

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FSOC Approves Rule to Designate Nonbank Financial Companies for Enhanced Oversight

By Steve Quinlivan on 04/03/2012

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The Role of Brokers and Funding Portals in Crowdfunding Transactions

By Steve Quinlivan on 03/31/2012

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Issuer Requirements for Crowdfunding Under the JOBS Act

By Jill Radloff on 03/30/2012

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Winning and Losing Provisions of the JOBS Act

By Steve Quinlivan on 03/28/2012

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JOBS Act on the Way

By Steve Quinlivan on 03/27/2012

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SEC Approves FINRA Rule Change Regarding Non-Arbitration of Whistleblower Disputes

By Steve Quinlivan on 03/16/2012

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SEC Issues Small Entity Compliance Guide on “Accredited Investor” Standard

By Jill Radloff on 03/02/2012

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SEC Commissioner Addresses Liability of Investment Adviser Legal and Compliance Officers

By Steve Quinlivan on 02/25/2012

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